White Collar Crime and Regulatory Defence


Our firm has one of the leading practices in Hong Kong in the defence of white collar crime and regulatory enforcement action, including enquiries and investigations by the Securities and Futures Commission ("SFC"), the Stock Exchange of Hong Kong ("SEHK"), the Hong Kong Monetary Authority ("HKMA"), and the insurance regulatory bodies. Our lawyers have represented clients in regulatory proceedings before the regulatory bodies themselves as well as before the range of specialist administrative tribunals including the Market Misconduct Tribunal. We have represented clients in regulatory proceedings before every level of the courts, from the Court of First Instance to the Court of Appeal and to the Court of Final Appeal. We have had the privilege of representing clients in some of the leading cases in Hong Kong which have defined the obligations of participants in the Hong Kong financial markets

In each retainer, we bring a number of advantages to our clients:

  • First, we bring the sound judgment to the decision making process that comes from over 15 years of experience dealing with action initiated by governmental authorities. As a result, we are able to make tactical and stratetic decisions in the context of such action that would be most likely to bring such action to an end.

  • Secondly, we bring an in-depth understanding of both the laws and regulations which govern the financial markets and of the customs and practices prevailing in these markets. This understanding comes from our day-to-day focus on advising participants in these markets on how to conduct their business activities and to achieve their business objectives in compliance with these laws and regulations. As a result, we are frequently able to identify contextual factors which can address or mitigate allegations made but which may not be obvious to practitioners who are less versed in the financial markets.

  • Thirdly, we bring a sound understanding of the appeals process, having represented our clients in appeals all the way to the Court of Final Appeal, the highest court in Hong Kong. As a result, we are able to advocate for our clients in a way that not only takes into account the short-term goal of bringing any enquiry or investigation to an end but also the long-term goal of succeeding in the courts.